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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| Topic 2: Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
| Topic 3: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Topic 4: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact
- A. before the end of the month.
- B. before the beginning of the next quarter.
- C. by the close of business on the next business day.
- D. within a week's time.
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Which of the following is a security as defined by the Uniform Securities Act (USA)?
- A. a debenture
- B. a futures option contract on wheat
- C. Both A and B are securities as defined by the Uniform Securities Act.
- D. a term life insurance policy
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Under the Uniform Securities Act, which of the following does not need to be included when filing to
register a security issue with the state?
- A. All of the above documents must be included when filing to register a security with the state.
- B. copies of the underwriter agreements
- C. a copy of the firm's articles of incorporation and bylaws, or the equivalent
- D. a copy of any indenture applying to the security being registered
Correct Answer: A 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has
been filed against a software manufacturer for monopolistic practices. The CFO of the company called his
broker today and sold some of the shares he owns in the company. Which of the following statements are
true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the
agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent
has knowingly executed this illegal insider trade for not having supervised the agent properly.
- A. I, II, and III
- B. I only
- C. None of the statements is true.
- D. I and II only
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless
- A. the client has been a customer of the firm for at least 6 months.
- B. the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction. - C. the client has a net worth of at least $500,000.
- D. the broker-dealer already has a margin agreement signed by the client in hand.
Correct Answer: B 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
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